Stuart Schwartz
Stuart Schwartz is a registered investment advisor at Oppenheimer & CO. INC., based in Dallas, TX, with 30 years of industry experience. Their practice areas include Financial Planning & Coaching, High Net Worth, Retirement Planning. Their firm serves 37,605 clients with $32B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Oppenheimer offers several investment management programs with different fee structures:
- Fahnestock Asset Management (FAM): Fees up to 2.5% of your portfolio. Commissions are also charged on certain FAM accounts.
- Alpha: Clients pay brokerage commissions and ticket/handling charges on securities transactions.
- Preference: Fees up to 2.25% of your portfolio. Additional charges may apply based on trading activity.
Minimum account sizes vary depending on the program and the types of investments included in the account. The minimum annual fee for FAM and Preference accounts is $250, but this is waived if the account is at least $50,000 or household advisory accounts are at least $250,000.
Location
Dallas, TX
Get directionsHistory
Regulatory History (1)
Criminal
April 1975Other Business Activities
Stuart is a partner in Nuval Enterprises Inc., a retail clothing business, dedicating minimal time to advising on business operations. He also acts as a trustee for separate property trusts for his daughter and son, spending minimal time per month on investment trading and providing financial recommendations for education purposes.
Employment History
Current Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Previous Registrations
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Oppenheimer & CO. INC.Broker
Cibc World Markets CORP.Broker
Painewebber IncorporatedBroker
State Registrations9 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.